商标产品平行进口的法律问题研究

【作者】 王金颖；

【导师】 党伟；

【作者基本信息】 东北财经大学 ， 国际贸易学， 2007， 硕士

【摘要】 在知识经济飞速发展的今天，平行进口作为一个与知识产权有关的贸易问题在商标领域广泛存在，并越来越引起各国政府的关注。平行进口又称灰色市场，具体到商标平行进口是指一国进口商在某商标权已受本国法律保护的情况下，未经本国商标所有人或商标使用权人许可，将从国外购得的相同商标商品输入本国的行为。国际贸易中商品差价的存在和经济利润的驱动必然导致了商标产品平行进口。地域性原则和权利穷竭原则是知识产权法的两个并行的重要原则，也是平行进口问题上相互对立的两大基础理论。地域性原则是反对平行进口的理论支柱，权利穷竭原则是支持平行进口的理论基础。权利穷竭原则是为了平衡知识权人专有权所产生的负面效应而设置的，其主旨是对知识产权人的权利加以必要的限制，以免产生过度垄断，阻碍产品的自由流通。由于平行进口问题涉及到巨大的经济利益，各国各持己见，始终无法达成一致，TRIPS协议也为避免产生更大的分歧没能对商标产品平行进口问题作出统一的规定。关于商标平行进口方面的立法及司法实践，各国也不尽相同，而且各国对待商标平行进口的态度也都随着各自历史的发展而不断变化。随着经济全球化的发展，因平行进口而引起的争议和诉讼大量出现，美国、欧盟等都纷纷采取对策应对平行进口商品。随着中国市场经济体制的完善，尤其是加入WTO后，关税水平不断下降，非关税贸易壁垒逐渐减少，平行进口问题将会大量出现，这给我国传统的法律制度提出了巨大的挑战。如何更好地规制商标产品平行进口问题已成为我们必须面对的法律问题。因此，研究商标产品平行进口不仅具有重大的理论意义，而且具有重要的实践意义。本文从介绍商标产品平行进口的基本理论入手，在对商标产品平行进口进行理论分析的基础上，通过对世界主要国家和地区立法及司法实践的考察，提出了我国应对商标产品平行进口的建议，以期对我国的知识产权研究有所裨益。具体来说，本文共分为四章：第一章介绍了商标产品平行进口的涵义、特征、表现形式及其成因，并由此得出商标产品平行进口问题的实质是不同利益主体的利益调和问题。第二章是对商标产品平行进口问题的理论分析，主要分析了“权利穷竭原则”与“地域性原则”的冲突、贸易自由化与非关税壁垒的冲突及个体利益与公共利益的冲突。第三章论述了世界主要国家和地区关于商标产品平行进口的立法和司法实践及国际公约对商标产品平行进口的态度，为我国的立法及司法实践提供借鉴。第四章基于前面章节的论述和分析，对我国商标产品平行进口问题进行了探讨，并提出了相关的立法建议。更多还原

【Abstract】 With the great development of knowledge economy, parallel import has called more and more attention of governments all over the world as it not only relates to the intellectual property rights, but also to the international trade. Parallel import is also called gray market. The parallel import in trademarks means that in the international trade,when some trademark rights or trademark right of use has already been in one country’s legal protection, an importer buys a commodity of the same trademark outside from his country without the permission of the person who has the right of the trademark. In the international trade, the existence of commodity price difference and the economical profit actuation have inevitably caused the trademark product parallel import.The principle of territoriality and the principle of exhaustion of rights are the important parallel theories in the law of intellectual property right as well as the opposite basic theories about the question of parallel import. The principle of territoriality is to object to parallel import. The principle of exhaustion of rights is the support of the rationality of parallel import. The primary intention of exhaustion of rights is to reduce the negative effects produced by the exclusive rights of the intellectual property rights holders, so as to ultimately avoid excessive monopolization and to boost free commodity circulation. Different countries and regions have different views on whether it’s legal or not because of the consideration of their own interests. Even in the conventions there are not unified standards about this question yet. Practice about the parallel legislation and administration of justice varies in various countries. And their attitudes and treatments to parallel imports change constantly with the development of each history.Along with the economical globalization development, increasing number of involved disputes and the lawsuits have appeared, so many countries such as U.S.,European Union and Japan all have managed to resolve the problem. Along with the consummation of our market economy system and entering WTO, the tariffs level and nor-tariff trade barrier are reduced step by step, thus the parallel import will also certainly increase. This causes us to pay more attention to the question and to deal with the parallel import. So this research is of vital importance not only for theory, but also for practice.This thesis introduces the basic theories of parallel import of trademark products and analyses them in detail. By force of the study on legislative and judicial practice of major countries and regions, suggestions are summed up on how to deal with the parallel import of trademark products which would be profitable for China. It consists of four chapters:Chapter 1 explains the meaning of parallel import of trademark products and its manifestation, characteristic and cause of formation,Chapter 2 analyzes the theory of parallel import of trademark products,and also analyzes the conflict of its theories,that is the conflict between the principle of territoriality and the principle of exhaustion of rights, the conflict between free trade and nor-tariff trade barrier and the conflict of the benefits between Intellectual Property holder and the public.Chapter 3 analyzes the parallel import of trademark products through the relevant cases and states the legislation and judicial practice of U.S., European Union and Japan regarding to parallel import of trademark products issue, which has a very important guide in our legislation and judicial practice.Chapter 4 puts forward some legislation recommendations on problems arising from the parallel import of trademark products in our country,based on the analysis in the previous three chapters.更多还原